Senior Regulatory Compliance Analyst

Job Title

About the role

SS&C is a leading financial services and healthcare technology company headquartered in Windsor, Connecticut, with 27,000+ employees in 35 countries. The company supports complex financial and healthcare operations through proprietary technology and deep industry expertise.

Responsibilities

• Principal review and approval of sales and advertising literature for assigned funds
• Research regulations and industry developments and create reports for use by ALPS
• Develop subject-matter expertise and train others across department and ALPS' client base
• Other broker-dealer compliance related activities as may be requested
• Research and summarize new regulations
• Maintain and coordinate procedural updates and other information
• Other compliance related activities as may be requested

Requirements

• Bachelor’s degree or equivalent
• Registered Fund advertising review product knowledge
• Experience in the principal review of mutual fund, ETF and private fund sales material
• Knowledge and experience working in or with broker-dealers and/or investment advisers
• Experience in compliance or similar role within the mutual fund and/or broker-dealer industries, or equivalent
• Series 7 and 24 required
• Advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)
• Ability to manage multiple tasks simultaneously
• Ability to work with little supervision
• Ability to travel as needed
• Excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
• Willing to work on site 6 days/month

Qualifications

• Must have Registered Fund advertising review product knowledge
• Must have experience in the principal review of mutual fund, ETF and private fund sales material
• Must demonstrate knowledge of SEC, FINRA, and other regulatory requirements related to broker-dealers and financial institutions
• Must have experience working in or with broker-dealers and/or investment advisers
• Must have experience in compliance or similar role within the mutual fund and/or broker-dealer industries, or equivalent
• Must have Series 7 and 24 required
• Must have advanced computer skills, including Microsoft Office (i.e. Word, Excel, PowerPoint, etc)
• Must be able to manage multiple tasks simultaneously
• Must be able to work with little supervision
• Must be able to travel as needed
• Must have excellent verbal and written communication skills with strong ability to communicate with a wide and varied internal and external audience
• Must be willing to work on site 6 days/month

Skills

• Strong regulatory compliance knowledge
• Effective communication skills
• Advanced Microsoft Office proficiency
• Ability to manage multiple tasks
• Travelability

Benefits

SS&C offers a comprehensive total rewards package including medical, dental, and vision coverage; a 401(k) plan with company match; paid time off, holidays, and parental leave; and professional development reimbursement opportunity.

Pay

Details about pay are not specified in the job posting.

Schedule

Details about the schedule are not specified in the job posting.